Guidelines- Coding and Monitoring- Associate

The guidelines team supports portfolio managers by updating Investment management mandates on Compliance platforms

As a Business Analysis and Reporting Associate in the Guidelines team you would perform account coding, compliance updates, and rule establishment while maintaining legal lists and managing counterparty maintenance. Investigate violations, assist with certifications, review regulatory breaches, classify investments, execute tests, and coordinate with managers on fund issues.

Job Responsibilities:

• Conduct new account coding, reviews, and revisions, including onboarding activities.
• Review and update compliance platforms with new data analytics.
• Understand and establish rules according to ratings agencies, and identify coding issues.
• Maintain Legal & Compliance approved and restricted lists, manage counterparty maintenance, standardize rule coding across regions, and perform periodic reviews of account coding for accuracy and consistency.
• Investigate and resolve post-trade violations, classify active versus passive breaches, and assist with client certifications and attestations.
• Conduct additional reviews of regulatory breaches related to UCITS and 1940 ACT regulations, and classify fund portfolio investments.
• Execute manual tests according to defined schedules, perform annual account reviews, and coordinate with portfolio managers and investment specialists regarding fund breaches

Required qualifications, skills and capabilities

• Posses 5+ years of experience in portfolio guidelines coding and monitoring.
• Candidates should have in-depth knowledge of securities reference data and portfolio analysis experience
• Familiarity with trade compliance applications such as LZ Sentinel, Charles River, Aladdin (Compliance), SimCorp Dimension, and ThinkFolio.
• A professional-level understanding of the 1940 Act, UCITS Regulations, or ERISA.

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.